JH
James P. Hua
OPAL ADVISORS
BELLEVUE, WA 98005
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CRD#: 5950165
JH
Professional summary
James Phuc Hua is a registered financial advisor currently at OPAL ADVISORS located in Bellevue, Washington.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. James has worked at 2 firms and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
In July, 2019, Mr. Hua (with several partners) launched Bellevue Funding LLC, a specialty finance company specializing in hard money lending and other lending activities tied to real property. Mr. Hua manages underwriting, risk and capital of Bellevue Funding as the firm's Portfolio Manager of and holds his ownership through BF Management LLC. This business is not investment/securities-related. Mr. Hua's role with Bellevue Funding requires 15 to 25 hours per week (up to 40% during securities trading hours). Mr. Hua has had his real estate broker's license since 2007; this work is infrequent and typically results in 2-5 hours per month (which may occur during securities trading hours). Mr. Hua is also part owner of Proximity USA LLC, which owns real estate and rental properties. Position Title: Member. Start date with business: 2015-07-24; Hours devoted to business during trading hours: 0; Hours devoted to business outside trading hours: 2; Percentage of total yearly compensation expected to be derived from the business: 0; Mr. Hua is a licensed insurance agent. This activity may create a conflict of interest since there is an incentive to recommend insurance products based on commissions or other benefits received from the insurance company, rather than on the client's needs. Opal addresses this conflict of interest by requiring its supervised persons to act in the best interest of the client at all times, including when acting as an insurance agent. All of Mr. Hua's business activities are conducted at 3150 Richards Road Suite 130, Bellevue, WA 98005
CRS (Client Relationship Summary) - RIA
Click below to view James Phuc Hua's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 13, 2012 - Present
OPAL ADVISORS
Office #1: 3150 Richards Road Suite 240, Bellevue, WA 98005RIA
CRD#: 164014
BELLEVUE, WA
Past
April 7, 2017 - November 18, 2022
SHEPPARD WEALTH MANAGEMENT, LLC
RIA
CRD#: 171444
Bellevue, WA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OA
OPAL ADVISORS
N/A | OPAL ADVISORS, LLC | OPAL ADVISORS
CRD#: 164014 / SEC#: 801-132775
RIA
Registered Investment Advisory firm - (5/12/2025 Approved)California
Registered Investment Advisory firm - (6/20/2025 Terminated)Idaho
Registered Investment Advisory firm - (5/30/2025 Terminated)Oregon
Registered Investment Advisory firm - (5/22/2025 Terminated)Texas
Registered Investment Advisory firm - (5/21/2025 Terminated)Washington
Registered Investment Advisory firm - (6/21/2025 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Washington(8/13/2012)
Current Firm
OA
OPAL ADVISORS
N/A | OPAL ADVISORS, LLC | OPAL ADVISORS
CRD#: 164014 / SEC#: 801-132775
RIA
Registered Investment Advisory firm - (5/12/2025 Approved)California
Registered Investment Advisory firm - (6/20/2025 Terminated)Idaho
Registered Investment Advisory firm - (5/30/2025 Terminated)Oregon
Registered Investment Advisory firm - (5/22/2025 Terminated)Texas
Registered Investment Advisory firm - (5/21/2025 Terminated)Washington
Registered Investment Advisory firm - (6/21/2025 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3150 Richards Road Suite 240, Bellevue, WA 98005
Mailing Address
Phone number
(425) 835-3276
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 344 |
| AUM (Assets Under Management) | $ 121,504,152 |
Red Flags
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